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- ...r's degree or higher • Exceptional interpersonal and communication skills with a strong customer-focused mindset • Possession of SFC Licenses for Type 1&2 is highly preferred • Mature, a strong team player, and eager to learn • Able to work independently, clien...
- ...support, preferably in the fields of finance, title would adjust based on the relevant experience Representative License under SFC for Type 1 and 2 regulated activities is preferred A good team player with excellent communication skill and efficiency-driven m...
- ...ment activities across global jurisdictions. · Track and interpret evolving regulations from authorities such as MAS, SEC, FCA, SFC, CSRC, and FSA Japan, ensuring timely compliance. · Assess risks linked to ownership thresholds, disclosure obligations, foreig...
- ...efficiently while continuously seeking ways to improve operational efficiency and quality. Ensure internal policies complied with SFC regulations and related rules. Foster a culture of proactive problem-solving, compliance, and continuous improvement. Requi...
- ...Management Manager reporting to the head of Internal Control Department -Margin financing control manager ensuring compliance with SFC Guidelines of Securities Margin Financing as well as the Company's internal policies and procedures including but not limited to SOP...
- ...ory requirements, such as the Anti-Money Laundering Ordinance (AMLO) and guidelines issued by the Securities and Futures Commission (SFC) Knowledgeable about the client onboarding process and associated client lifecycle maintenance events Fluent in both English an...
- ... and software functionality. Ensure all settlement activities are compliant with the Hong Kong Securities and Futures Commission (SFC) regulations. Perform other duties as assigned by supervisors to support team objectives. Job Requirements: Bachelor’s deg...
- ... and regulations of capital markets for HK and US markets. Well-versed in relevant compliance rules and regulations issued by the SFC. Analytical, self-motivated, ability to work under pressure. Good Team Player and problem-solving skills. Good command of w...
- ...nvestment opportunities to provide timely advice Requirements: Bachelor Degree in Finance, Business or related discipline; SFC RA type 1,2,4,5,9 license holder or eligible to obtains license Min. 5 years of experience in wealth management/private banking o...
- ...disciplines; Minimum 2 years of securities firms, listed companies experience or relevant financial institutions; Knowledge in SFC Liquid Capital calculation and FRR is a MUST; Profound knowledge of FRR and SFC regulatory requirements, and HKEx regulations is ...
- Job Description Provide operational support in performing compliance functions and statutory requirements of IA and SFC to ensure full compliance with regulatory and internal control requirements; Handle statutory reporting and inquiries from regulatory bodies a...
- ...e in business or related disciplines At least 2 years related working experience Passed HKSI LE paper 1, 7, 8 or Licensed with SFC type 1 regulated activities Good command of spoken and written English and Chinese (Cantonese and Putonghua) Good Interpersonal...
- ...cy in spoken and written English and Chinese Bachelor degree holder preferably in accounting, finance or other relevant majors SFC license 6 and/or 1 holder Adeptness in managing multiple projects simultaneously Strong business acumen, good analytical, inte...
- ...ears in business analysis/digital project management experience especially in securities/banking/finance industry • Familiar with SFC/HKMA related trading system front-to-back business flow • Good problem solving, communication and interpersonal skills • Stron...